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Eco-Education Division, National Botanical Research Institute, Rana Pratap Marg, Lucknow 226001, India
Ministry of Environment and Forest, Central Regional Oce, CGO Complex, Aliganj, Lucknow 226020, India
Accepted 27 August 2004
Available online 21 November 2004
Abstract
The present investigation is a case study of Lucknow, the main metropolis in Northern India, which succumbs to a major problem of municipal solid waste and its management. A qualitative investigation using strengths, weaknesses, opportunities and threats
analysis (SWOT) has been successfully implemented through this community participation study. This qualitative investigation
emphasizes the limited capabilities of the municipal corporations resources to provide proper facilitation of the municipal solid
waste management (MSWM) services without community participation in Lucknow city. The SWOT analysis was performed to
formulate strategic action plans for MSWM in order to mobilize and utilize the community resources on the one hand and municipal corporations resources on the other. It has allowed the introduction of a participatory approach for better collaboration
between the community and municipal corporation in Lucknow (India). With this stakeholder-based SWOT analysis, eorts were
made to explore the ways and means of converting the possible threats into opportunities and changing the weaknesses into
strengths regarding a community-based MSWM programme. By this investigation, concrete strategic action plans were developed
for both the community and municipal corporation to improve MSWM in Lucknow.
2004 Elsevier Ltd. All rights reserved.
1. Introduction
Municipal solid waste (MSW) is an essential by-product of everyday living. Thus, the idea of eliminating solid waste is an impractical proposition; what is realistic
is the management of solid waste in an eective manner,
which is scientically approved and needed for sustainable urbanization and development. Eective and scientic municipal solid waste management (MSWM),
including prevention and reduction of waste, is necessary for sustainable urbanization and development. If
the population and resources are not accompanied by
the development of innovative approaches for availing
enhanced community participation and government
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to adopt proper MSWM services, resulting in inadequate allocation of nancial and human resources by
the government authorities and a general public apathy;
thereby, the existing scenario of MSWM has become
very chaotic (Raman, 1995).
Several case studies on MSWM in India have shown
that the higher the average income of the people, the
higher is their per capita waste generation (Report of Indian Supreme Courts Committee, 1999). It was observed that the composition and volume of waste
generated might change following urbanization in a city,
and associated changes in peoples lifestyles (Zhao, 1998;
Capua and Maganani, 2000).
Lucknow is the capital city of Uttar Pradesh (India)
situated between 265200 N latitude and 805200 E longitude and having a unique blend of heritage and culture.
Due to improper solid waste disposal and management,
there is an urgent need to initiate a well-planned integrated MSWM approach with the communitys participation in the city. Per Census 2001, this city has a total
population of about 2.8 million (including 0.5 million
oating population), which generates 12001400 metric
tonnes of municipal garbage per day. On average, 70
75% of total MSW generated is collected by the municipal corporation of Lucknow, and the collection eciency
ranges from 60% to 70%. In the city, street sweeping is
the only method of primary collection of MSW. It was
observed in a survey made by the authors that rapid
urbanization, population increase, inux of oating population, lack of motivation and skills among municipal
corporation sta, public apathy and lack of human resource development activities etc. are the major limiting
factors that are hindering proper MSWM in Lucknow.
The same survey also reported that an urban area city
dweller in Lucknow is responsible for generating 400
450 g per day of waste as compared to rural areas that
produce less than 200250 g daily.
The present study focused on ways of encouraging
community participation in MSWM services and, in
particular, how such participation by community and
government sectors (especially the municipal corporation) can be increased.
SWOT is an acronym for strengths, weaknesses,
opportunities and threats. Every programme, project,
development and management plan has its strengths
and weaknesses, opportunities and threats. Considering
these strengths, weaknesses, opportunities and threats
(SWOTs), a project coordinator can deal more eectively with the problems that are likely to come up,
and look at ways and means of converting the threats
into opportunities, and o-setting the weaknesses
against the strengths. This analysis could be undertaken
for any idea, organization, person, product, programme
or project (Johnson et al., 1989).
In this project, SWOT analysis was applied to develop
action plans for successful implementation of new
initiatives for MSWM. In other words, this stakeholder-based SWOT analysis was performed to develop
a strategic action plan of MSWM for Lucknow city. It
aimed at identifying the positive and negative factors,
as well as internal and external factors, that might have
an impact on the proposed MSWM programme. SWOT
analysis of this programme and its components (community and city municipal corporation) was intended
to maximize both strengths and opportunities, minimize
the external threats, transform the identied weaknesses
into strengths and to take advantage of opportunities
along with minimizing both internal weaknesses and
external threats (Saaty, 1987).
SWOT is a tool designed to be used in the preliminary
stages of decision-making on the one hand and as a precursor to strategic management planning on the other. It
should be performed by the individual user and also in
groups. The group-wise analysis is particularly eective
in providing factors, major objectives, clarity and, therefore, focus to all the discussions about strategy-formulation regarding any proposed MSWM programme
(Johnson et al., 1989).
In the SWOT analysis, available resources and their
potential utilization are studied from the viewpoints of
economic, ecological and social sustainability. However,
its main purpose in the planning process is to obtain
decision support that is to be utilized in the choice of
the strategy to be followed. In a decision-theoretic
study, a decision is considered as a choice between two
or more alternative measures. Generally, rational decision-makers choose the alternative that maximizes the
utility, determined on the basis of information available
on the decision-alternatives. In decision support, information is produced on the decision situation, on alternative choices of action and its consequences etc. A
complete decision-model constitutes the basis for the
decision support. The alternatives available, information about the consequences associated with these alternatives and the preferences among these consequences
are the three criteria for the decision (Bradshaw and
Boose, 1990). Each aspect of the information must be
sound so that the best alternatives can be selected. Thus,
SWOT is used for analyzing internal and external environments in order to attain a systematic approach and
support for a decisive situation. If used correctly, it
can provide a good basis for successful strategy
formulation.
It was intended that the SWOT analysis could provide
a framework for analyzing a situation and developing
suitable strategies and tactics; a basis for assessing core
capabilities and competences; the evidence for, and key
to, change and success and also provide a stimulus to
participate in a group experience (Schmoldt and Peterson, 2000). The further utilization of SWOT is usually
based on qualitative and quantitative analysis of internal
and external factors, as well as on the capabilities and
2. Methodology
The methodology for SWOT analysis (Saaty, 1987;
Pearce and Robinson, 1988; Anselin et al., 1989; Pesonen et al., 2001) that was adopted in the present study,
included the following steps:
1. Identication of relevant factors of the external and
internal environments by a baseline survey using an
activity worksheet (see Table 1) and interviews with
the stakeholders (including concerned governmental
departments, institutions, ministries and community
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Table 1
Activity worksheet for SWOT analysis
Factors
Questions
Strengths
What are the advantages?
What can programme do as well?
What are the factors supporting the programme?
Weaknesses
Opportunities
Threats
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3. Results
The internal analysis was a comprehensive evaluation
of the internal environments, i.e., strengths and weaknesses, while the external analysis included the opportunities and threats that might arise when changes occur in
the external environments during the implementation of
the MSWM programme. When both the abovementioned analyses had been completed, a SWOT prole was generated for the purpose of setting goals, local
priorities, and strategy formulations, and for their subsequent implementation (Glass, 1991).
It was suggested that the quality of the analysis might
always be improved greatly if interviews are held with a
spectrum of stakeholders concerned with the programme.
Furthermore, information that would represent a single
viewpoint must be avoided. In SWOT analysis, multiple
perspectives are always needed (Heinonen, 1997).
In the current study, appropriate contributors and
concerned stakeholders were selected on the basis of
their jobs, expertise and stake in Lucknows MSWM
to ensure that a diverse cross-section of opinion and
groups were represented. Background preparation was
made for the successful SWOT analysis. This preparation was carried out in two stages:
(a) exploratory, followed by data collection, and
(b) detailed, followed by a focused analysis (IETC,
1996; Guariso and Werthner, 1989; Schmoldt and
Peterson, 2000).
It was decided at the compilation of the SWOT prole that the analysis would be specic and evaluative,
because its ndings were used in subsequent strategic
planning eorts (Bartol and Martin, 1991). The analysis
of opportunities was designed by assessing the socioeconomic, political, environmental and demographic
factors; by evaluating the benets within the programme; and by analyzing the duration of opportunities
beneting the programme and the stakeholders.
The SWOT analysis was performed with diverse communities from dierent income groups and dierent habitats like residents of colonies, multistoried complexes
and slum dwellers of the city. The other stakeholders
were government ocials from the City Municipal Corporation, State Urban Development Department, State
Pollution Control Board, Ministry of Environment
and Forests, Centre for Environment Education, National Research Institutions, National Cadet Corps,
Municipal Ward Corporators, City Mayor and Representatives of non-Governmental Organizations, and Civil Defence Organization.
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536
Acknowledgement
It was observed that the SWOT analysis was an excellent tool to explore the possibilities and ways for initiating
acknowledged for providing nancial support to corresponding author to carry out the present study during
his fellowship.
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